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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2024-02-01
TX RA APPROVED_RES 2024-02-01
  • MI RA
    APPROVED
    Since 2024-02-01
  • TX RA
    APPROVED_RES
    Since 2024-02-01

Branch Locations

4400 Orchard Lake Rd, West Bloomfield Twp, MI 48323 • United States

31110 Novi Road, Novi, MI 48377 • United States

31230 Grand River Ave, Farmington, MI 48336 • United States

39900 Eight Mile Road, Northville, MI 48167 • United States

24235 Novi Rd, Novi, MI 48375 • United States

44691 Mound Road, Sterling Heights, MI 48314 • United States

35238 Woodward Ave, Birmingham, MI 48009 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
New Light Financial Group, Inc. Troy MI 09/1986 08/2017
Regal Investment Advisors Kentwood MI 02/2015 08/2017
Regulus Advisors Kentwood MI 02/2015 06/2017
Infinex Investments, Inc. Meriden CT 08/2017 01/2024
Flagstar Bank Birmingham MI 08/2017 Present
Lpl Financial Llc Birmingham MI 02/2024 Present
  • 09/1986 → 08/2017
    New Light Financial Group, Inc.
    Troy, MI
  • 02/2015 → 08/2017
    Regal Investment Advisors
    Kentwood, MI
  • 02/2015 → 06/2017
    Regulus Advisors
    Kentwood, MI
  • 08/2017 → 01/2024
    Infinex Investments, Inc.
    Meriden, CT
  • 08/2017 → Present
    Flagstar Bank
    Birmingham, MI
  • 02/2024 → Present
    Birmingham, MI
Previous Registrations
  • 2017-08-21 → 2024-02-01
    Birmingham, MI
    Farmington Hills, MI
    Novi, MI
    W. Bloomfield, MI
    Novi, MI
    Farmington, MI
    Northville, MI
  • 2015-03-02 → 2017-08-22
    Pontiac, MI
    Kentwood, MI
  • 2013-02-11 → 2015-03-05
    Monticello Investment Services, Inc.
    Pontiac, MI
    Neosho, MO
  • 2011-02-10 → 2011-04-08
    National Planning Corporation
    Troy, MI
  • 2010-11-19 → 2011-02-03
    Troy, MI
Other Businesses

1)01/31/2024 - Flagstar Wealth Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)01/31/2024 - Darb55.com - Other - Website Owner - Non-Inv Rel - Shelby Twp, MI - Start: 03/2023 - 15 Hr/Mth 3)01/30/2024 - Yazoo Brothers - Artist/ Musician - Non-Inv Rel - Shelby Twp, MI - Start: 07/2023 - 25 Hr/Mth

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-11-17
S63 Uniform Securities Agent State Law Examination 1984-05-11
  • S66 Uniform Combined State Law Examination
    2010-11-17
  • S63 Uniform Securities Agent State Law Examination
    1984-05-11
Other Names
  • Dennis Rotary
  • H Dennis Rotary

View on SEC IAPD

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